DFX Intelligence

B••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

B••••• A•••••••

B••••• A••••••• IC, CRD 298561

ST HELIER, CHANNEL ISLANDS

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Data as of May 10, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 28, 2018 to May 10, 2019
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
SEC number: 801-114211
CRD: 298561

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• L•••••••• R•••••	CHIEF INVESTMENT OFFICER	E	yes	06/2017	Sep 28, 2018	May 10, 2019
P••••••• C•••••• L••••••	CORPORATE ENTITY	C	yes	04/2019	May 10, 2019	May 10, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• F••• A••••••• L••	n/a	Asset manager	$137M	Y	yes	n/a
A••••• E••••• I•••••••• L••	n/a	n/a	n/a	N	yes	n/a
B••••• I••••• A••••••• S•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Relationships

Affiliated with (1)

→ B••••• I•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (3)

← S••••• C•••••• E••••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Sep 28, 2018 to presentfactForm ADV
← A••••• L•••••••• R•••••OwnerCHIEF INVESTMENT OFFICER, ownership code E, individual
Sep 28, 2018 to presentfactForm ADV
← P••••••• C•••••• L••••••OwnerCORPORATE ENTITY, ownership code C, foreign entity

Dated events

Order

Occurred
28 Sep 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 28, 2018
Last observed: May 10, 2019 89 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.